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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (1) | $ 11.5 (1) | 03/18/2014 | X | 9,999,999 (1) | (2) | 10/03/2016(3) | Common Stock | 3,333,333 (1) | (1) | 2 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stanhope Investments 190 ELGIN AVENUE GRAND CAYMAN, E9 KY1-9005 |
X |
/s/ Yousef Abdul Aziz Ahmed Abdulla Al Harmoodi | 04/23/2014 | |
**Signature of Reporting Person | Date | |
/s/ Mohamed Ali Al Dhaheri | 04/23/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person is filing an amendment to the Form 4 filed on March 20, 2014 to reflect a decrease of six shares of common stock from the amount previously reported following the exercise of a warrant, which decrease is due to rounding of the exercise price for such warrant. |
(2) | Exercisable at any time. |
(3) | On 5 March 2014 the issuer announced that each warrant would be mandatorily redeemed by the issuer on 3 April 2014 for $0.01 per warrant if not exercised. |